1. Wolfgang Miller / 02.07.2009 / 1 Concurrency Controll Algorithms Concurrency Control Algorithms Chapter 4

2. Wolfgang Miller / 02.07.2009 / 2 Concurrency Controll Algorithms Overview I.Introduction o Basics II.Locking schedulers o Two-Phase Locking Non-Two-Phase Locking Protocols o Write-Only Tree Locking o Read/Write Tree Locking III. Non-locking schedulers o Timestamp Ordering IV.Optimistic schedulers o BOCC

3. Wolfgang Miller / 02.07.2009 / 3 Concurrency Controll Algorithms Overview I.Introduction  Basics II.Locking schedulers o Two-Phase Locking Non-Two-Phase Locking Protocols o Write-Only Tree Locking o Read/Write Tree Locking III. Non-locking schedulers o Timestamp Ordering IV.Optimistic schedulers o BOCC

4. Wolfgang Miller / 02.07.2009 / 4 Concurrency Controll Algorithms CSR – Class of conflict-serializable schedules Definition: Conflict Equivalence Schedules s and s‘ are conflict equivalent (denoted s  c s‘), if: op(s) = op(s‘) and conf(s) = conf(s‘). Definition: Conflicts and Conflict Relations Let s be a schedule, t, t‘  trans(s), t  t‘. (i)Two data operations p  t and q  t‘ are in conflict in s if they access the same data item and at least one of them is a write. i.e., (p = r(x) ˄ q = w(x)) ˅ (p = w(x) ˄ q = r(x)) ˅ (p = w(x) ˄ q = w(x)) (ii){(p, q)} | p, q are in conflict and p occurs before q in s} is the conflict relation of s.

5. Wolfgang Miller / 02.07.2009 / 5 Concurrency Controll Algorithms CSR – Class of conflict-serializable schedules Definition: Conflict Serializability: Schedule s is conflict serializable if there is a serial schedule s‘ such that s  c s‘. CSR denotes the class of all conflict serializable schedules. Example: s 1 = r 1 (x) r 2 (x) r 1 (z) w 1 (x) w 2 (y) r 3 (z) w 3 (y) c 1 c 2 w 3 (z) c 3  CSR s 2 = r 2 (x) w 2 (x) r 1 (x) r 1 (y) r 2 (y) w 2 (y) c 1 c 2  CSR t 2 writes on x before t 1 read x

6. Wolfgang Miller / 02.07.2009 / 6 Concurrency Controll Algorithms Scheduler Actions and Transaction States Definition: CSR Safety For a scheduler S, Gen(S) denotes the set of all schedules that S can generate. A scheduler is called CSR safe if Gen(S)  CSR All of the following algorithms are CSR safe

7. Wolfgang Miller / 02.07.2009 / 7 Concurrency Controll Algorithms Scheduler Classification Schedulers can be classified as pessimistic or optimistic:  optimistic Schedulers:  also called „aggressiv“, because they mostly let steps pass and rarely block. This bears the danger of „getting stuck“ eventually when the serializability of the output can no longer be guaranteed  pessimistic Schedulers:  also called „conservative“, because they mostly block, in extreme, albeit unlikely case, the output could become a serial schedule, if all transactions but one were blocked.

8. Wolfgang Miller / 02.07.2009 / 8 Concurrency Controll Algorithms Scheduler Classification – Algorithms Overview

9. Wolfgang Miller / 02.07.2009 / 9 Concurrency Controll Algorithms Overview I.Introduction basics II.Locking schedulers  Two-Phase Locking Non-Two-Phase Locking Protocols o Write-Only Tree Locking o Read/Write Tree Locking III. Non-locking schedulers o Timestamp Ordering IV.Optimistic schedulers o BOCC

10. Wolfgang Miller / 02.07.2009 / 10 Concurrency Controll Algorithms Locking Schedulers In a nuthsell this means that if a transaction holds a lock on a specific data item, this item is not available to other, concurrent transactions The Idea behind locking schedules is to synchronize access to shared data by using locks. lock notation: rl(x)  read lock x wl(x)  write lock x ru(x)  write unlock x wu(x)  write unlock x compatibility of locks:

11. Wolfgang Miller / 02.07.2009 / 11 Concurrency Controll Algorithms Rules for well-formed locking LR1: If t i contains a step of the form r i (x)[w i (x)], then the schedule s also contains a step of the form rl i (x)[wl i (x)] before the data operation. Moreover s contains a step of the form ru i (x)[wu i (x)] somewhere after the operation. LR2: For each x accessed by t i, schedule s has at most one rl i (x) and at most one wl i (x) step.  locks of the same type are set at most once per transaction and per data item. LR3: No step of the form ru i (.) or wu i (.) is redundant (i.e., executed per transaction more than once) LR4: If x is held locked by both t i and t j for t i, t j  trans(s), i ≠ j, then these locks are not in conflict (i.e., they are compatible)

12. Wolfgang Miller / 02.07.2009 / 12 Concurrency Controll Algorithms Two-Phase Locking (2PL) - Definition Definition: Two-Phase Locking A locking protocol is two-phase if for every output s and every transaction t i  trans(s) is true that no ql i step follows the first ou i step (o,q  {r, w}). A locking protocol is two-phase if for every transaction a phase during which locks are set is distinguished from and strictly followed by a phase during which locks are released.

13. Wolfgang Miller / 02.07.2009 / 13 Concurrency Controll Algorithms Two-Phase Locking (2PL) - Example 2PL Example : s = w 1 (x) r 2 (x) w 1 (y) w 1 (z) r 3 (z) c 1 w 2 (y) w 3 (y) c 2 w 3 (z) c 3 wl 1 (x) w 1 (x) wl 1 (y) w 1 (y) wl 1 (z) w 1 (z) wu 1 (x) rl 2 (x) r 2 (x) wu 1 (y) wu 1 (z) c 1 rl 3 (z) r 3 (z) wl 2 (y) w 2 (y) wu 2 (y) ru 2 (x) c 2 wl 3 (y) w 3 (y) wl 3 (z) w 3 (z) wu 3 (z) wu 3 (y) c 3 A 2PL output could be:

14. Wolfgang Miller / 02.07.2009 / 14 Concurrency Controll Algorithms Overview I.Introduction basics II.Locking schedulers Two-Phase Locking Non-Two-Phase Locking Protocols  Write-Only Tree Locking  Read/Write Tree Locking III. Non-locking schedulers o Timestamp Ordering IV.Optimistic schedulers o BOCC V.Hybrid Schedulers

15. Wolfgang Miller / 02.07.2009 / 15 Concurrency Controll Algorithms Non-Two-Phase Locking Protocols The following two tree-based protocols are geared for transactions that exhibit treelike access patterns. In other cases they are susceptible to degradation. The data items are viewed as nodes of a tree and accesses have to follow a path down the tree. On the next slides we will have a look at those two tree-based locking schedulers: Write-Only Tree LockingRead/Write Tree Locking

16. Wolfgang Miller / 02.07.2009 / 16 Concurrency Controll Algorithms Write-Only Tree Locking (WTL) Note: the tree is a virtual data organization only, the relationship between the data items can be quite different Under the write-only tree locking protocol, lock requests and releases must obey the locking rules LR1-LR4 and the following two rules on the next slide: The Write-Only Tree Locking protocol uses a tree to organize the data items. In its model read operations are missing, they would cause problems we will see later. Thus a transaction can only write data (or read and write are applied to the same item as collapsed into one operation).

17. Wolfgang Miller / 02.07.2009 / 17 Concurrency Controll Algorithms Write-Only Tree Locking (WTL) WTL1: If x is any node in the tree other than the root, wl i (x) can be set only if t i currently holds a write lock on y, where y is parent of x WTL2: After a wu i (x), no further wl i (x) is allowed (on the same data item x) Example: if a transaction t = w(c)w(e) wants to acquire wl(c) or wl(e) it has to hold wl(b)

18. Wolfgang Miller / 02.07.2009 / 18 Concurrency Controll Algorithms Write-Only Tree Locking (WTL) Sample Transaction under the WTL protocol: transaction t = w(d)w(i)w(k) wl(a)wl(b)wu(a)wl(d)wl(e)wu(b)w(d)wu(d)wl(i)wu(e)w(i) wl(k)wu(i)w(k)wu(k)

19. Wolfgang Miller / 02.07.2009 / 19 Concurrency Controll Algorithms Read/Write Tree Locking (RWTL) The Read/Write Tree Locking is a generalization of the Write- Only Tree Locking protocol. Unlike the the Write-Only Tree Locking protocol it supports seperate read operations, too.

20. Wolfgang Miller / 02.07.2009 / 20 Concurrency Controll Algorithms Read/Write Tree Locking (RWTL) Problem: t i locks root before t j does, but t j passes t i within a “read zone” Example: rl 1 (a) rl 1 (b) r 1 (a) r 1 (b) wl 1 (a) w 1 (a) wl 1 (b) ul 1 (a) rl 2 (a) r 2 (a) w 1 (b) rl 1 (e) ul 1 (b) rl 2 (b) r 2 (b) ul 2 (a) rl 2 (e) rl 2 (i) ul 2 (b) r 2 (e) r 1 (e) r 2 (i) wl 2 (i) w 2 (i) wl 2 (k) ul 2 (e) ul 2 (i) rl 1 (i) ul 1 (e) r 1 (i)... Solution: formalize “read zone” and enforce two-phase property on “read zones”. This zones are called pitfall. appears to follow TL rules but  CSR

21. Wolfgang Miller / 02.07.2009 / 21 Concurrency Controll Algorithms Read/Write Tree Locking (RWTL) Definition: Read-Write Tree Locking Under the RWTL lock requests and releases must obey LR1 - LR4, WTL1, WTL2, and the two-phase property within each pitfall. Definition: pitfall For transaction t with read set RS(t) and write set WS(t) let C 1,..., C m be the connected components of RS(t). A pitfall of t is a set of the form C i  {x  WS(t) | x is a child or parent of some y  C i }.

22. Wolfgang Miller / 02.07.2009 / 22 Concurrency Controll Algorithms Read/Write Tree Locking (RWTL) Example: transaction t with RS(t) = {f, i, g} and WS(t) = {c, l, j, k, o} has pitfalls pf 1 ={c, f, i, l, j} and pf 2 ={g, c, k}.

23. Wolfgang Miller / 02.07.2009 / 23 Concurrency Controll Algorithms Overview I.Introduction basics II.Locking schedulers Two-Phase Locking Non-Two-Phase Locking Protocols Write-Only Tree Locking Read/Write Tree Locking III. Non-locking schedulers  Timestamp Ordering IV.Optimistic schedulers o BOCC V.Hybrid Schedulers

24. Wolfgang Miller / 02.07.2009 / 24 Concurrency Controll Algorithms Nonlocking Schedulers The next two protocols are alternatives to locking schedulers. They guarantee safety of their output without using locks. The first one is the Basic Time Stamp Ordering, which counts to the pessimistic protocols and with the BOCC protocol we will also see an optimistic scheduler

25. Wolfgang Miller / 02.07.2009 / 25 Concurrency Controll Algorithms Timestamp Ordering (TO) Timestamp Ordering Rule (TO rule): Each transaction t i is assigned a unique timestamp ts(t i ) (e.g., the time of t i ‘s beginning). If p i (x) and q j (x) are in conflict, then the following must hold: p i (x) is executed before q j (x) iff ts(t i ) < ts(t j ). Timestamp Ordering protocols get rid of locks and use timestamps instead.

26. Wolfgang Miller / 02.07.2009 / 26 Concurrency Controll Algorithms Basic Timestamp Odering (BTO) Basic timestamp ordering protocol (BTO): For each data item x maintain max-r-scheduled(x): the value of the largest timestamp of a read operation on x already sent to the scheduler max-w-scheduled(x): the value of the largest timestamp of a write operation on x already sent to the scheduler Operation p i (x) is compared to max-q (x) for each conflicting q: if ts(t i ) < max-q (x) for some q then abort t i else schedule p i (x) for execution and set max-p (x) to ts(t i )

27. Wolfgang Miller / 02.07.2009 / 27 Concurrency Controll Algorithms Basic Timestamp Ordering (BTO) BTO Example: s = r 1 (x) w 2 (x) r 3 (y) w 2 (y) c 2 w 3 (z) c 3 r 1 (z) c 1 r 1 (x) w 2 (x) r 3 (y) a 2 w 3 (z) c 3 a 1

28. Wolfgang Miller / 02.07.2009 / 28 Concurrency Controll Algorithms Scheduler Classification – Algorithms Overview

29. Wolfgang Miller / 02.07.2009 / 29 Concurrency Controll Algorithms Overview I.Introduction basics II.Locking schedulers Two-Phase Locking Non-Two-Phase Locking Protocols Write-Only Tree Locking Read/Write Tree Locking III. Non-locking schedulers Timestamp Ordering IV.Optimistic schedulers  BOCC V.Hybrid Schedulers

30. Wolfgang Miller / 02.07.2009 / 30 Concurrency Controll Algorithms Optimistic Protocols In some scenarios optmistic protocols can do a better job then pessimistic. A product catalog application where 99% of the transactions are just read price information and descriptions of products. From time to time prices are updated or new products are added, but this occurs with a very low frequency compared to the read events.  A 2PL protocol for example would waste a considerable amount of time for managing locks, instead of reading data items. optimistic schedulers do a good job in cases were conflicts aren‘t frequent

31. Wolfgang Miller / 02.07.2009 / 31 Concurrency Controll Algorithms The three phases of a optimistic scheduler 1. Read phase: The transaction is executed, but all writes applied to a workspace private to the transaction only (not the database) 2. Validation phase: The scheduler tests if its execution has been „correct“ in the sense of conflict serializability and whether the result can be copied to database – if not the transaction is aborted, otherwise the next phase is entered 3. Write phase: The workspace contents are transferred into the database to conclude the transaction

32. Wolfgang Miller / 02.07.2009 / 32 Concurrency Controll Algorithms BOCC BOCC validation of t j : compare t j to all previously committed t i accept t j if one of the following holds t i has ended before t j has started, or RS(t j )  WS(t i ) =  and t i has validated before t j Under backward-oriented optimistic concurrency control (BOCC), a transaction under validation executes a conflict test against all those transactions that are already committed.

33. Wolfgang Miller / 02.07.2009 / 33 Concurrency Controll Algorithms BOCC Example: Execution of BOCC

34. Wolfgang Miller / 02.07.2009 / 34 Concurrency Controll Algorithms Overview I.Introduction Basics II.Locking schedulers Two-Phase Locking Non-Two-Phase Locking Protocols Write-Only Tree Locking Read/Write Tree Locking III. Non-locking schedulers Timestamp Ordering IV.Optimistic schedulers BOCC

35. Wolfgang Miller / 02.07.2009 / 35 Concurrency Controll Algorithms Thank you for your attention. Any questions?

36. Wolfgang Miller / 02.07.2009 / 36 Concurrency Controll Algorithms Database System Layers 1.Language & Interface Layer 2.Query Decomposition & Optimization Layer 3.Query Execution Layer 4.Access Layer 5.Storage Layer

37. Wolfgang Miller / 02.07.2009 / 37 Concurrency Controll Algorithms A transaction scheduler

38. Wolfgang Miller / 02.07.2009 / 38 Concurrency Controll Algorithms A Transaction Scheduler  Transaction Manager (TM)  Data Manager (DM)

39. Wolfgang Miller / 02.07.2009 / 39 Concurrency Controll Algorithms Write-Only Tree Locking (WTL) Lemma: If transaction t i locks x before t j, then each successor v of x in the data tree is locked by both t i and t j is also locked by t i before it is locked by t j